A Year in the Life of a Compliance Officer
November 29, 2023
DateNov 29, 2023Duration90 minutes
08:00 AM PST09:00 AM MST
10:00 AM CST11:00 AM EST
- Unlimited connections for your institution
- Available on desktop, mobile & tablet
- Take-away toolkit
- Presenter’s contact info for questions
See Registration Options
- Unlimited & shareable access starting two business days after live stream
- Available on desktop, mobile & tablet devices 24/7
- Take-away toolkit
- Ability to download webinar video
- Presenter's contact info for questions
Do you see your life laid out before you?
If you’re a compliance officer, this webinar could be your roadmap. Compliance officers must stay abreast of and track an overabundance of policies, procedures, regulations, and deadlines. This webinar is the perfect onramp to the tools, tips, and sample calendars compliance officers need to steer your institution in the right direction.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Use provided checklists to track your responsibilities
- Implement tracking methods for everything from policy approvals to exam findings
- Enhance your change management process to address new and updated regulatory requirements
- Establish an effective training program
- Effectively report compliance matters to the board
- Understand the tools and resources available to you
Compliance officers’ duties are broad. They must manage regulatory compliance dates (that can change on short notice), update policies and procedures to reflect new requirements, provide relevant information to staff, and stay informed about the next change, advisory, or guidance to be issued. In addition, they must manage and implement numerous regulatory guidances and monitoring reports. All of this is designed to avoid consumer harm and compliance violations for their financial institution. Since they often wear many hats, it’s easy for a monthly review or annual report to slip through the cracks. This program will journey through a year in the life of a compliance officer, including required training, risk assessments, reviews, reports, and audits. Useful tools and a sample annual calendar will be provided.
WHO SHOULD ATTEND?
This informative session will benefit compliance officers, compliance staff, and internal auditors.
NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.
- Sample compliance officer job description
- Sample compliance council charter
- Sample policy review schedule
- Board and employee training documentation record
- Employee training log
- Interactive quiz
- PDF of slides and speaker’s contact info for follow-up questions
- Attendance certificate provided to self-report CE credits
Brode Consulting Services Inc
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